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SM

Shauntee M. Miguel

ALAMO CAPITAL
Walnut Creek, CA 94596
Some features on this profile are disabled
CRD#: 7619164
SM

Professional summary

Shauntee Marie Miguel, who also goes by Shauntee Marie Miguer, is a registered financial professional currently at ALAMO CAPITAL located in Walnut Creek, California.

Shauntee is registered as a RR (Registered Representative) and started their career in finance in 2024. Shauntee has worked at 1 firm and has passed the SIE and Series 99TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shauntee Marie Miguer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shauntee Marie Miguel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 10, 2024 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596
RIA
BD
CRD#: 26193
Walnut Creek, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 9/9/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/2/2024
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ALAMO CAPITAL
A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: , 8-42293

California
Registered Investment Advisory firm - SEC (1/2/2002 Approved)
Nevada
Registered Investment Advisory firm - SEC (12/29/2017 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
201 N Civic Dr #180, Walnut Creek, CA 94596-3761
Mailing Address
201 N Civic Dr Suite 180, Walnut Creek, CA 94596
Phone number
(925) 472-5740
Established
California since 08/27/1987
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
20

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MULLALLY, NANCY ANN RUEHLECEO1004052
MULLALLY, NANCY ANN RUEHLECFO1004052
DURDEN JR, JOHN KENNETHFINOP860423
KENT-ASTER, ALLISON VICTORIACCO2047679
MULLALLY, WILLIAM JOHNPRESIDENT818827

Regulatory assets under management

Total Number of Accounts14
AUM (Assets Under Management)$ 81,684,700

Disclosures

Regulatory Event3
Bond3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALAMO CAPITAL

CRD#: 26193Walnut Creek, CA 94596

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